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FORM 5
[ ] Check this box if no longer
subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). [ ] Form 3 Holdings Reported
[ ] Form 4 Transactions Reported
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
Puma, Mary
(Last) (First) (Middle)
c/o Axcelis Technologies, Inc.
55 Cherry Hill Drive
(Street)
Beverly, MA 01915
(City) (State) (Zip)
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2. Issuer Name and Ticker or Trading Symbol Axcelis Technologies, Inc.
ACLS 3. I.R.S. Identification
Number of Reporting Person, if an entity (voluntary) |
4. Statement for Month/Year 12/2000
5. If Amendment, Date of Original (Month/Year) 12/2000
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6. Relationship of Reporting Person(s) to Issuer
(Check all applicable) X Director
10% Owner
X Officer (give title below)
Other (specify below)
Description
President and Chief Executive Officer
7. Individual or Joint/Group
Filing (Check Applicable Line) X Form filed by One Reporting Person
Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1. Title of Security (Instr. 3) |
2.Transaction
Date (Month/Day/Year) |
2A. Deemed Execution Date, if any
(Month/Day/Year) |
3. Transaction Code (Instr. 8) |
4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4, and 5) Amount / A/D / Price
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5. Amount of
Securities Beneficially Owned at end of Issuer's Fiscal Year (Instr. 3 and 4) |
6. Owner-
ship Form: Direct (D) or Indirect (I) (Instr. 4) |
7. Nature of
Indirect Beneficial Ownership (Instr. 4) |
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Common Stock
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12/01/2000
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J(1)
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47,522 / A / $
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Common Stock
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12/29/2000
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J(2)
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353 / A / $
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47,875
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D
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivative Security
(Instr. 3) |
2. Conver-
sion or Exercise Price of Deri- vative Security |
3. Transaction Date
(Month/ Day/ Year) |
3A. Deemed Execution Date, if any
(Month/ Day/ Year) |
4. Transaction Code (Instr.8) |
5. Number of Derivative Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) A or D
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6. Date Exercisable(DE) and
Expiration Date(ED) (Month/Day/Year) DE / ED
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7. Title and Amount of
Underlying Securities (Instr. 3 and 4) Title / Amount or Number of Shares
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8. Price
of Derivative Security (Instr.5) |
9. Number of Derivative Securities Beneficially Owned at End of Year Reported Transaction(s) (Instr.4) |
10. Owner- ship Form of Deriv- ative Securities: Direct (D) or Indirect (I) (Instr.4) |
11. Nature of Indirect Beneficial Ownership (Instr.4) |
| Stock option (right to buy) | $22.00 | 07/10/2000 |
A(3)
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606,100 A |
(4) / 07/10/2010
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common stock / 606,100
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$
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606,100
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D
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| Stock option (right to buy) | $10.44 | 12/29/2000 |
A(3)
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12,705 A |
12/29/2000 / 01/27/2008
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common stock / 12,705
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$
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12,705
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D
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| Stock option (right to buy) | $7.17 | 12/29/2000 |
A(3)
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67,759 A |
12/29/2000 / 04/30/2006
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common stock / 67,759
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$
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67,759
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D
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| Stock option (right to buy) | $8.48 | 12/29/2000 |
A(3)
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63,525 A |
12/29/2000 / 01/21/2007
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common stock / 63,525
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$
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63,525
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D
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| Stock option (right to buy) | $8.44 | 12/29/2000 |
A(3)
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84,699 A |
(5) / 01/25/2010
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common stock / 84,699
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$
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84,699
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D
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| Stock option (right to buy) | $8.43 | 12/29/2000 |
A(3)
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177,870 A |
(6) / 01/26/2009
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common stock / 177,870
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$
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177,870
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D
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This Amendment to Ms. Puma's Form 5 for the year ended 12/31/2000 is being filed to correct the expiration date of her $8.43 options.
(1) Shares acquired by way of a grant of restricted shares from Axcelis Technologies, Inc. (2) Shares acquired by way of a dividend issued to all common shareholders of Eaton Corporation. (3) Granted under the Axcelis Technologies, Inc. 2000 Stock Plan. All grants on 12/29/2000 were granted on conversion of outstanding options for Eaton Corporation common stock. (4) Exercisable as to 16.5% of the shares on each of 07/10/2001 and 07/10/2002, as to 17% of the shares on 07/10/2003, 30% of the shares on 07/10/2004 and 20% of the shares on 07/10/2005. (5) Exercisable as to 33% of the shares on each of 01/25/2001 and 01/25/2002 and as to 34% of the shares on 01/25/2003. (6) Exercisable as to 33% of the shares on grant, and as to 33% of the shares on 1/26/2001 and as to 34% of the shares on 01/26/2002. |
| By: | Date: |
| /s/ Lynnette C. Fallon | 01/28/2003 |
| Attorney-in-Fact on behalf of Mary G. Puma | |
| ** Signature of Reporting Person | SEC 2270 (09-02) |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. * If the form is filed by more than one reporting person, see Instruction 4(b)(v). ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |